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MERCER CAPITAL, INC
CASE OUTCOME: PERMANENT BAR FROM NFA MEMBERSHIP

NFA ID:

0301960

Complaint:
On August 30, 2006, NFA issued a Complaint charging MCI, Flickinger, Kerpe, Montgomery and Viera with making deceptive and misleading sales solicitations. The Complaint also charged MCI and Viera with making high-pressure sales solicitations. The Complaint charged MCM with failure to maintain required books and records; failure to file required telegraphic notice; and failure to initiate an adequate AML program.

Decision:
On January 10, 2007, MCM and MCI were ordered to never apply for NFA membership in the future. Flickinger was ordered to never apply for NFA membership, associate NFA membership or principal status with any NFA Member in the future.

Source: National Futures Association

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MERCER CAPITAL, INC CASE OUTCOME: PERMANENT BAR FROM NFA MEMBERSHIP

MERCER CAPITAL, INC
CASE OUTCOME: PERMANENT BAR FROM NFA MEMBERSHIP